the Investment Industry Regulatory Organization of Canada (IIROC) since 2004;

the Mutual Fund Dealers Association of Canada (MFDA) since 2004; and

the Chambre de la sécurité financière since 2001.

Administrative tribunal hearing decisions and CSA member decisions are public records. As the government agencies responsible for protecting investors and the integrity of the securities markets, CSA members consider it important to make this type of information readily available. This is why we give the names of persons who have been subject to sanctions, no matter how serious and whether or not the sanctions have expired.

Also, please note that as of July 1, 2015, certain orders made in other provinces or territories will automatically take effect in Alberta. For more information, contact the Alberta Securities Commission or review its website at www.albertasecurities.com.

The CSA presents this information as a plain language summary of information found in publicly available documents. The category descriptions provided therein are for the convenience of the reader only. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions.

Sign up to the CSA's e-mail subscription services for immediate notice of additions to the disciplined persons list.

Related Information

The Chambre de la sécurité financière (Québec only) oversees professionals who work in five sectors, namely group savings plan brokerage, financial planning, insurance of persons, group insurance of persons and scholarship plan brokerage. This list only includes disciplinary decisions relating to securities. For all other sectors, please contact them directly.